DBS Vickers Securities (Thailand) Co.,Ltd. Between May 22, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to put in place a

Mrs. Pattera Dilokrungthirapop Between 29 May 2019 and 12 June 2019, Mrs. Pattera Dilokrungthirapop, the Chief Executive Officer who is responsible for the operation of DBS Vickers Securities

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 28, 2019 and May 31, 2019, June 4, 2019 and June 7, 2019 and June 10, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and

DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 29, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to maintain net capital

Mrs. Pattera Dilokrungthirapop Between 28 May 2019 and 10 June 2019, Mrs. Pattera Dilokrungthirapop, the Chief Executive Officer who is responsible for the operation of DBS Vickers Securities

Mrs. Pattera Dilokrungthirapop Between 22 May 2019 and 12 June 2019, Mrs. Pattera Dilokrungthirapop, the Chief Executive Officer who is responsible for the operation of DBS Vickers Securities

Miss Wipa Lertthianchaikul Between 4 June 2019 and 7 June 2019, Miss Wipa Lertthianchaikul, the Director of accounting and finance who is responsible for the operation of DBS Vickers Securities

Miss Wipa Lertthianchaikul Between 6 June 2019 and 11 June 2019, Miss Wipa Lertthianchaikul, the Director of accounting and finance who is responsible for the operation of DBS Vickers Securities

Mr. Surakit Kongsirirungruang Between 4 June 2019 and 7 June 2019, Mr. Surakit Kongsirirungruang, the Deputy Director of accounting and finance who is responsible for the operation of DBS Vickers